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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-30 |
| TX | RA | APPROVED_RES | 2023-10-30 |
Branch Locations
608 Silver Spur Road Suite 100, Rolling Hills, CA 90274 • United States
Long Beach, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Los Angeles | CA | 06/2007 | 10/2023 |
| Rbc Capital Markets, Llc | Los Angeles | CA | 10/2023 | Present |
| City National Bank | Los Angeles | CA | 12/2023 | 12/2023 |
| City National Bank | Los Angeles | CA | 01/2024 | Present |
(1)NAME OF ENTITY: Long Beach Area Council Boy Scouts of America ADDRESS: 401 E. 37th St., Long Beach, CA 90807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization for youth START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on budgets. spending and fundraising activities of the organization. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (2)NAME OF ENTITY: YMCA of Greater Long Beach ADDRESS: 3605 Long Beach Blvd. #210, Long Beach, CA 90807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization serving community. START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on investment, spending and fundraising activities of the organization. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (3)NAME OF ENTITY: American Gold Star Manor ADDRESS: 3021 N Gold Star Dr., Long Beach, CA 90810 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Operating Foundation serving Gold Star parents and Veterans. START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on budgets, spending and operations. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (4) NAME OF ENTITY: Long Beach Community Foundation ADDRESS: 400 Oceangate #800, Long Beach, CA 90802 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization serving community CAPACITY: Board of Directors * START DATE: 01/01/2020 DUTIES: board gives guidance on budgets, spending and fundraising activities of the organization HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (5) NAME OF ENTITY: Rotary Club of Long Beach ADDRESS: 1126 Queens Hwy. Sylvania Room Long Beach CA 90802 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jul 01, 2026 CAPACITY: Board of Directors DUTIES: Assistant to President, assisting communications between President, the Board of Directors and the ~240 club members. Giving advice of a non-financial nature to the President. HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-23 |
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